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General Securities Representative Exam
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41	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 16, 2014 Admin. Proc. File No. 3-14810r Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-16 17:44:51 Financial system Business U.S. Securities and Exchange Commission Self-regulatory organization General Securities Representative Exam Securities Exchange Act Selling away United States securities law Financial Industry Regulatory Authority Financial regulation
42	EXHIBIT 5 Additions underscored Deletions [bracketed] NYSE MKT Rules *** Rule 341. Approval of Registered Employees and Officers Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-23 12:58:17** General Securities Principal Exam Finance Financial system United States securities law Financial economics Registered representative
43	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEMKT[removed]September 22, 2014 Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-23 12:58:16 Financial regulation Securities Exchange Act Government U.S. Securities and Exchange Commission General Securities Representative Exam Securities and Exchange Commission United States Securities Act Canadian securities regulation United States securities law United States Securities and Exchange Commission 73rd United States Congress
44	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEArca[removed]September 10, 2014 Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Cha Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-11 09:37:42 United States Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Financial Industry Regulatory Authority New York Stock Exchange General Securities Representative Exam Securities Act United States securities law Financial regulation Economy of the United States
45	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-03-05 10:37:36 Financial economics Financial services Financial Industry Regulatory Authority Investment Banking Exam Registered representative General Securities Representative Exam General Securities Principal Exam U.S. Securities and Exchange Commission Securities regulation in the United States United States securities law Professional certification in finance Business
46	Form U10 Instructions For Completion and Submission by Check or Money Order We now offer on line submissions of the Form U10. This new option provides a more convenient credit card paym Add to Reading List Source URL: www.state.tn.us Language: English - Date: 2013-02-13 10:38:02 Financial regulation Business Financial system Finance Self-regulatory organization General Securities Representative Exam Uniform Combined State Law Exam Uniform Securities Agent State Law Exam Financial adviser United States securities law Professional certification in finance Financial economics
47	660:[removed]Qualification examination requirements [AMENDED] (a) Examination requirement. Proof of compliance with the written examination requirements of this rule is prerequisite to a complete filing for registration Add to Reading List Source URL: www.securities.state.ok.us Language: English - Date: 2013-04-25 12:19:15 Financial system Financial adviser Uniform Investment Adviser Law Exam Financial Industry Regulatory Authority Securities Act Patent attorney Broker-dealer Registered Investment Advisor General Securities Representative Exam United States securities law Financial economics Finance
48	Examination Handbook 710, Networking Arrangement, January 2004 Add to Reading List Source URL: www.occ.gov Language: English - Date: 2012-01-11 15:11:03 Financial system Registered representative Net capital rule Financial Industry Regulatory Authority Broker-dealer Securities Investor Protection Corporation Financial adviser Depository Trust & Clearing Corporation General Securities Principal Exam United States securities law Financial economics Finance
49	Microsoft Word[removed]_corrected_.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-03-20 15:51:24 Finance Financial Industry Regulatory Authority Securities regulation in the United States Securities Exchange Act Securities Act General Securities Principal Exam U.S. Securities and Exchange Commission Security Registered representative United States securities law Financial economics Financial system
50	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]April 4, 2014 INVESTMENT COMPANY ACT OF 1940 Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-04-04 11:27:26 Financial markets United States securities law Financial regulation Short selling Securities Exchange Act U.S. Securities and Exchange Commission Broker-dealer General Securities Representative Exam Financial adviser Financial economics Finance Financial system

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